- Assisting with compliance monitoring reviews and testing Maintenance of the Compliance Monitoring Programme
- Post trade compliance checks
- Maintaining SMCR files including initiating background screenings
- Assisting with the implementation of policies and procedures
- Assisting with the maintenance and update of training materials Providing administrative support to the Compliance Officer / General Counsel
- Assisting with ad hoc legal and regulatory projects
- Assist in preparing and conducting KYC checks, and responding to KYC requests
- Take lead on ensuring compliance with record-keeping requirements
- Take lead on responding to requests for compliance approvals such as personal account dealing, gifts and entertainment or outside business interests
- Ideally 1-2 years' experience within financial services in Compliance, Operations, Paralegal
- Ability to work in a fast-paced environment
- Ability to communicate effectively both in writing and orally
- Ability to deliver outputs with a high degree of accuracy
- Ability to work independently as well as a part of the team Good knowledge of Microsoft Office suite and ability to pick up new systems quickly
- Candidate should be positive, confident, self-motivated, proactive and flexible
-
Compliance Analyst
4 days ago
LawChoice Recruitment Agency Limited London (Central), United Kingdom Full timeMajor off-shore law firm based in the City of London require a Compliance Analyst/CDD Analyst. You will be supporting the Compliance Officer assisting in managing the client due diligence process in order to ensure that at all times the firm is compliant with the provisions of re ...
-
AML/KYC Analyst
20 hours ago
Integreon Central London, United KingdomWe are looking specifically for AML/KYC Analyst with Institutional KYC/AML experience. The AML/KYC Analyst will serve our client to manually review and identify the reasons why a customer's identity verification failed in an automated system. The scope of work includes identifyin ...
-
AML/KYC Analysts
12 hours ago
Integreon Central London, United KingdomThe AML/KYC Analyst who is fluent in Mandarin language will serve our client to manually review and identify the reasons why a customer's identity verification failed in an automated system. The scope of work includes identifying and analyzing clients' business affiliations, prof ...
-
Risk Manager
1 week ago
ITI Capital Limited Central London, United KingdomCompany Overview ITI Capital Limited is an FCA-regulated multi-asset brokerage firm, based in The City of London, specializing in serving institutional and professional clients, as well as private equity investors. · As a Risk Manager, you will be responsible for overseeing the ...
-
Risk Manager
20 hours ago
ITI Capital Limited Central London, United KingdomCompany Overview · ITI Capital Limited is an FCA-regulated multi-asset brokerage firm, based in The City of London, specializing in serving institutional and professional clients, as well as private equity investors. · Job Description: · As a Risk Manager, you will be responsi ...
-
Accounts Payable Analyst
3 days ago
Page Personnel London (Central), United Kingdom Full timeWe are seeking an Accounts Payable Analyst for a 12-month FTC in our Accounting & Finance department. The successful candidate will have a keen eye for detail, excellent numerical skills, and a strong background in accounting within the Technology and Telecoms industry. · Client ...
-
Principal Data Architect
1 week ago
Bupa Central London, United Kingdom Full timeJob Description: · Principal Data Architect · London / Manchester (Hybrid working available) · Permanent · Full time · We make health happen · As the Principal Data Architect, you will play a pivotal role in shaping the future of our organization by leading the establishment ...
-
Chief Data Architect
1 week ago
Bupa Central London, United Kingdom Full timeJob Description: · Chief Enterprise Data Architect · London / Manchester (Hybrid working available) · Permanent · Full time · We make health happen · As the Chief Enterprise Data Architect, you will play a pivotal role in shaping the future of our organization by leading the ...
-
Conflicts lawyer/analyst
1 week ago
Michael Page Legal London (Central), United Kingdom Full timeThis position is for a Conflicts Lawyer/Analyst in the Business Services Department within the Legal industry. The ideal candidate will have a strong background in conflicts management and demonstrate a keen understanding of legal issues. · Client Details · This employer is a pre ...
-
Senior Risk
17 hours ago
Expedia Group London (Central), United Kingdom Full timeIf you need assistance during the recruiting process due to a disability, please reach out to our Recruiting Accommodations Team through the Accommodation Request form. This form is used only by individuals with disabilities who require assistance or adjustments in applying and i ...
-
EMIR Regulatory Reporting – Senior Analyst
3 days ago
Northern Trust London (Central), United Kingdom Full timeAbout Northern Trust: · Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. · Northern Trust is proud to provide innovative financial services and guidance to the world's most succe ...
-
Underwriting Business Analyst, Specialty UK
1 week ago
AXA XL London (Central), United Kingdom OTHERUnderwriting Business Analyst, UK & Lloyd's (12 month FTC) · London, UK · AXA XL's culture of profitable growth is at the core of our underwriting ethos, and the primary driver of both strategic and day-to-day decisions. As an extensive global business we take pride in teamwork ...
-
Global Advisors
1 week ago
State Street London (Central), United Kingdom Full timeRole: · As the senior ESG Reporting Business & Data Analyst within the Client Reporting function, you will contribute to the evolution of our ESG Client Reporting offering covering Client, Product and Regulatory Reporting. · We are looking for someone who is keen to develop a det ...
Compliance Analyst - Central London, United Kingdom - Appleby Brown Search
4 days ago
Description
My client is an alternative investment manager based in London.
About the role
An exciting opportunity has arisen to join the compliance team working directly with the General Counsel & Chief Compliance Officer in a role that will provide excellent generalist compliance exposure.
The role requires the ability to problem solve, work independently and collaborate with members of other teams, including the investment team.
Responsibilities
Requirements
